the ads process · the ads process, part i: ads authors manual 12/24/2008 revision *an asterisk...

The ADS Process

A Mandatory Reference for ADS Chapter 501

Revision Date: 12/24/2008 Responsible Office: M/MPBP/POL File Name: 501mae_122408

12/24/2008 Revision Substantive: YES

Editorial: YES

*An asterisk indicates that the adjacent material is new or substantively revised.

The ADS Process

2

The ADS Process

Note: Office symbols have been updated

Table of Contents

Introduction ..................................................................................... 4

Part I: ADS Authors Manual ......................................... 5

Section A. Writing ADS Material .............................................................. 5

A.1 Writing ADS Material ............................................................... 5

A.2 Who Writes ADS Material? ........................................................ 5

A.3 Developing, Maintaining, Updating, and Certifying ADS Material ........... 5

A.4 Using Asterisks to Show Revisions, Additions, and Deletions Within an

ADS Chapter and Agency-Created Mandatory Reference ................... 8

A.5 Is There a Required Writing Style? ............................................... 9

Section B. ADS Structure ..................................................................... 12

B.1 ADS Chapter Numbers ........................................................... 12

B.2 ADS Chapter Structure ........................................................... 12

B.3 ADS Glossary and Definitions ................................................... 16

B.4 Hyperlinking From an ADS Chapter to Another Document ................. 17

Section C. Technical Format Requirements ............................................. 19

C.1 Required Technical Format for ADS Chapters and References ........... 19

C.2 Section 508 Format Requirements ............................................. 20

C.3 Forms ............................................................................... 21

C.4 Exceptions to the Format Requirements ...................................... 22

Part II: ADS Clearance Process .................................. 23

Section A. Authors ............................................................................. 23

A.1 Required Clearance Process for ADS Material .............................. 23

A.2 How Do I Obtain Required Clearances? ...................................... 24

Section B. Clearing Officials ................................................................. 27

B.1 Clearing Officials’ Responsibilities ............................................. 27

Section C. Authors and Clearing Officials ................................................ 30

C.1 What If a Clearing Official Does Not Respond? .............................. 30

C.2 How Do Authors Respond to a Clearing Official’s Comments? ............ 30

C.3 How Are Differences and Disputes Between Authors and Clearing Officials

Resolved? .......................................................................... 31

Section D. M/MPBP/POL and Authors ..................................................... 32

Revised 12/24/2008 Substantive: YES

Editorial:NO

D.1 What Is M/MPBP/POL’s Role in the ADS Clearance Process? ........... 32

D.2 How Do I Respond to M/MPBP/POL’s Comments? ......................... 32

D.3 Do I Have to Document Clearances? .......................................... 32

Section E. Editorial Changes, Conforming Amendments ............................. 34

E.1 Must Editorial Changes and Conforming Amendments Be Cleared? ..... 34

Section F. Exceptions ......................................................................... 35

F.1 Are There Exceptions to the ADS Clearance and Issuance Process? ... 35

Part III: ADS Issuance Process ................................... 40

1. Submitting Your ADS Material to M/MPBP/POL’s for Issuance ........... 40

2. What Happens After You Submit Your Material? ............................ 41

3. Effective Dates, Revision Date, New Issuance Date, and Origination Date

41

4. Two Ways to Issue Your Material .............................................. 42

5. Issuing a Standalone Policy Notice (Interim Update) ........................ 43

6. Issuing SBU Material ............................................................. 43

Appendix A ..................................................................................... 44

Part IV: Definitions ................................................... 44

The ADS Process, Part I: ADS Authors Manual 12/24/2008 Revision


The ADS Process

Part I-4

Introduction

This document contains four parts:

- Part I: ADS Authors Manual describes how authors develop, write, and maintain ADS

material and technical do’s and don’ts.

- Part II: ADS Clearance Process addresses the ADS clearance process for authors and

clearing officials.

- Part III: ADS Issuance Process explains how to issue ADS material.

- Part IV: Definitions.

The ADS is USAID’s directives program, which provides the framework for drafting, clearing,

and issuing Agency-wide internal regulations (policy directives) and required operating

procedures. The ADS also includes optional material within chapters and additional help

documents intended to help readers interpret and apply those policy directives and required

procedures.

Please see ADS 501.3.1.2 and 501.3.1.3 for precise information on what the ADS includes and

does not include.

http://www.usaid.gov/policy/ads/500/501.pdf




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Part I: ADS Authors Manual

Section A. Writing ADS Material

A.1 Writing ADS Material Effective Date – 01/29/2002

As stated in Executive Order (EO) 12866, each agency must “draft its regulations to be simple

and easy to understand, with the goal of minimizing the potential for uncertainty and litigation

arising from such uncertainty.”

A.2 Who Writes ADS Material? Effective Date – 01/29/2002

Management officials (as defined in ADS 501; see Part IV, Definitions, of this document) must

designate qualified authors in their Bureau/Independent Office to develop ADS material. A

qualified author is a subject matter expert (SME) or someone with good writing skills who can

interview the SME and write in plain language. M/MPBP/POL assists with identifying Agency

Bureaus/Independent Offices responsible for developing ADS material.

A representative from a Bureau/Independent Office must contact M/MPBP/POL when he or she

sees the need for a new ADS chapter. M/MPBP/POL then

Advises the Bureau/Independent Office on available chapter numbers and in which

functional series the new chapter belongs, and

Updates the ADS Chapters and Authors List reference.

Any disagreements over transfers of ADS chapter ownership are elevated to the appropriate

management level.

A.3 Developing, Maintaining, Updating, and Certifying ADS Material Effective Date – 08/21/2006

Authors must develop ADS material in accordance with ADS 501 and its mandatory references

and update material, as necessary, to reflect changes in law, regulations, or policy. Before

issuing ADS material, the primary author must obtain the required clearances. For a quick look

at the ADS process, see Timeline: Four-Step Process and Issuing ADS Material.

An author may ask an individual in another Bureau/Independent Office, or teams of individuals

from other Bureau/Independent Office, to draft ADS material or participate in drafting. In these

http://www.archives.gov/federal_register/executive_orders/pdf/12866.pdf

http://www.usaid.gov/policy/ads/500/501mab.pdf

http://www.usaid.gov/policy/ads/500/501sad.pdf



The ADS Process

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instances, the primary author remains responsible for clearing material and ensuring it is updated

when necessary.

When creating or revising ADS material, authors are encouraged to consult with

Bureaus/Independent Offices and Missions that may be affected by their ADS material.

M/MPBP/POL has created a Global Address List in Microsoft Outlook (“M.MPBP.POL DW

List”) for authors who wish to communicate with the entire ADS community. The list contains

the names of all authors and clearing officials. Authors, don't forget to review the Clearance

List for ADS Material for potential consulting Bureaus/Independent Offices.

ADS authors must regularly review ADS material (chapters and references – internal and

external) and modify it to ensure that it is up-to-date and consistent with law and regulation,

sound policy, and management practices.

a. External references

Check your external references regularly for updates and changes that affect your ADS material.

Remember to check the ADS Web site to make sure it links to the most current version of every

reference you cite. Updates to ADS material due to changes in external references are

conforming amendments and don’t require ADS clearance (see Part II, Section E of this

document).

b. Internal policy changes

Update your ADS material whenever Agency policy changes. If you need to update your

material to comply with policy that is already stated in another part of the ADS, this is a

conforming amendment and does not require ADS clearance. See Part II, Section E of this

document.

c. Eliminating material

If material is no longer relevant or necessary, contact M/MPBP/POL to determine if clearance is

required to eliminate the material from the ADS. Policy changes require clearance unless they

are conforming amendments. Fill out an AID Form 3-252, USAID Directives System Issuance

Request, to complete the process.

d. Certifying material

Remember: ADS author Bureaus/Independent Offices must certify their ADS material,

including external references, every year. See ADS 501.3.6 for information on the Annual

Certification.






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e. ADS authors working together

Authors need to work with the primary author of ADS material if they want to make changes to

the primary author’s material. There are two common scenarios when this occurs:

1. Author A has created, revised, or canceled an ADS document, chapter A, and needs to

include it in the ADS and link it to chapter B. To make this linkage happen, author A

must always contact the author of chapter B, author B. Here are two things to keep in

mind:

Author B must give his permission for the material to be linked to chapter B.

If the reference is mandatory and contains new or revised ADS procedures, it

must be sent out for ADS clearance.

Once ADS clearance is obtained, author A must obtain author B’s approval, which must always

be in writing (such as an e-mail). Author A must then provide this e-mail approval, the newly

modified chapter B, and the front page of a signed AID Form 3-252 to M/MPBP/POL for

signature approval.

2. Over time, author A (who may be an ADS author or simply a USAID employee) may

want to make a modification to an existing chapter. She spots something that is incorrect

or inaccurate. In this case, author A must always contact author B, the primary author of

the ADS material, to communicate her finding.

Author B is responsible for making the change to his material. He can refuse

to make the change or he can make it.

If he makes the change, and it is substantive and is not a conforming

amendment, his material will need to go out for clearance, and the steps of the

clearance cycle apply.

If his material does not need to go out for clearance, then he needs to provide the newly modified

chapter, and the front page of a signed AID Form 3-252 to M/MPBP/POL for signature approval.



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A.4 Using Asterisks to Show Revisions, Additions, and Deletions Within an ADS Chapter and Agency-Created Mandatory Reference

Effective Date – 06/01/2007

An asterisk in the left margin of a chapter or internal mandatory reference indicates that the

adjacent material is new or substantively revised. When you revise ADS material, first remove

all asterisks from the previous revision using the Search and Replace feature in MS Word.

The following table provides more detail on when and where to place an asterisk in your ADS

material:

If you make the following type of change to

your ADS material…

Then you must insert an asterisk as

follows…

Substantive change to an existing paragraph In the left margin at the beginning of the paragraph

and also in the left margin next to the header.

Substantive change to an existing list At the beginning of each revised item on the list.

Substantively new or revised subsection header In the left margin next to the header.

Entire new subsection In the left margin at the beginning of each

paragraph in the subsection and also in the left

margin next to the header.

Remove entire subsection or policy statement from

the chapter

Insert the following illustration phrase:

[Removed former section 501.3.3.4, How to

Hyperlink References]

If you make the following type of change to

your ADS material…

Then do not insert an asterisk …

Substantively rewrite entire chapter Do not insert asterisks throughout the text.

Insert the following phrase before the Table of

Contents:

This chapter has been substantively revised in its

entirety.

M/MPBP/POL will also place this phrase in a

footer at the bottom of every page. Editorial change to a paragraph Do not insert an asterisk. Rewriting a chapter in plain language (this usually

accompanies reformatting)

Do not insert asterisks.

Insert the following phrase before the Table of

Contents:

This chapter has been editorially revised in its

entirety and reformatted. Renumbering existing headers Do not insert an asterisk.



The ADS Process

Part I-9

A.5 Is There a Required Writing Style? Effective Date – 01/29/2002

Yes. You, the author, must communicate clearly to Agency employees using plain language. As

you write, keep in mind all of the following:

a. Know the extent of your authority. What is your authority for establishing a

given policy directive or required procedure? In many instances, you can refer directly to

the applicable legislation, Executive Order, or regulation through a hyperlink. Avoid

rewriting the governing language.

b. Promote the Agency's core values.

Retain operational flexibility when it is consistent with law and regulation,

sound policy, and management practices. (See ADS 200.3.2.4)

In the spirit of the core value “teamwork and participation,” as you work on

your material, consult with Bureaus/Independent Offices and Missions

affected by your ADS chapter. (See ADS 200.3.2.3)

c. Think about the readers. What do they need to know? What are the minimum

procedures they need to follow in order to comply with legislation? Organize your

material to serve their needs.

d. Think about organization. What is the simplest, most coherent organization of

the information? Put information in a logical order.

e. Think about content. You must state the core policies in the Policy Directives

and Required Procedures section of your ADS chapter. Think about what information is

best included in a mandatory reference or additional help document. An internal

mandatory reference carries the same weight as an ADS chapter.

f. Know the requirements. Have you kept your policy directives and required

procedures to a minimum and are they consistent with law and regulation, sound policy,

and appropriate management practices?

g. Use plain language. As defined by the Plain Language Action and Information

Network (PLAIN), plain language is writing that your reader can understand the first time

he or she reads it. It doesn't mean writing for a certain grade level -- it means organizing

and writing for your reader. Use common, everyday words, short sentences, active voice,

and, when appropriate, address the reader directly by using the pronoun "you." Avoid

jargon.





The ADS Process

Part I-10

See the following references for more information on plain language:

Guidance on Implementing Plain Language,

Official plain language Web site (http://www.plainlanguage.gov), and

ADS Style and Format Guide, Section 1.

When you update any ADS material, you must write in plain language.

h. Choose words carefully. Make it clear to the reader what guidance is mandatory

and what is not. Use words such as "must" and "is required" to signify mandatory

guidance. Do not use "should" when you mean "must." Use words and phrases such as

"might" and "encourages" to signify non-mandatory guidance. (See ADS Style and

Format Guide, Section II for more information on word usage in the ADS.)

i. Be concise and accurate. Avoid addressing the same point in several places. Do

not unnecessarily restate information from other ADS chapters, mandatory references,

and external regulations. Instead, reference the existing policy or procedure. The

exception to this general rule is that if you are creating separate reference documents for

different audiences, you may repeat vital and relevant policy.

When proposing changes in existing policy directives or required procedures, the author

must investigate the effect on previous cross-references, reports, other ADS material,

form numbers, and publications.

In the spirit of EO 12861, Elimination of One-Half of Executive Branch Internal

Regulations, keep non-mandatory information to a minimum in your ADS chapter. If

you need to expand on this type of information, please create an additional help

document for your chapter.

j. Select a user-friendly design. Incorporate user-friendly design features like lists,

tables, "white space," and short sections broken up by headers to improve readability.

Consider placing acronyms in bold the first time they appear, and using bold to highlight

key points. Use question/answer format if appropriate.

k. Use the ADS standard format. Follow the standard structure and format for

ADS chapters described in Part I, Section B.2 of this document. An ADS chapter

contains six mandatory sections:

xxx.1 Overview

xxx.2 Primary Responsibilities

xxx.3 Policy Directives and Required Procedures

xxx.4 Mandatory References (including mandatory forms)

xxx.5 Additional Help (including optional forms)

xxx.6 Definitions

http://www.plainlanguage.gov/howto/guidelines/PresMemoGuidelines.cfm

http://www.usaid.gov/policy/ads/500/501mac.pdf






The ADS Process

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l. Section 508. Comply with the accessibility requirements of Section 508 of the

Rehabilitation Act, as stated in Part I, Section C.2 of this document.

m. Get help. Get help when you need it and write away! Contact M/MPBP/POL

any time during the process for editorial help with your material. M/MPBP/POL requests

that authors send completed drafts to [email protected] for editorial review before releasing

drafts for clearance.



The ADS Process

Part I-12

Section B. ADS Structure

B.1 ADS Chapter Numbers Effective Date – 01/29/2002

The ADS consists of chapters grouped according to the Agency's functions. These groups of

chapters are called the functional series. A list of the functional series follows:

Series 100: Agency Organization and Legal Affairs

Series 200: Programming Policy

Series 300: Acquisition and Assistance

Series 400: Personnel

Series 500: Management Services

Series 600: Budget and Finance

M/MPBP/POL assigns every ADS chapter a unique number. The first digit signifies its

functional series association. The remaining digits denote its placement within that series.

Example: ADS Chapter 510

The “5” represents Functional Series 500, Management Services.

The “10” represents its placement within Functional Series 500.

Authors must create a descriptive chapter title and a Table of Contents for each chapter.

B.2 ADS Chapter Structure Effective Date – 07/01/2004

You must write ADS chapters in the simplified, standardized format and structure as described

here and in the ADS Style and Format Guide.

An ADS chapter contains the six mandatory sections described below:

a. Overview (xxx.1).

This first section introduces the chapter and may include a brief purpose, overview,

objective, or statement on applicability. Overviews are brief.

b. Primary Responsibilities (xxx.2).

This section includes brief, broad statements about the Bureaus/Independent Offices and

officials (titles, not names) with key responsibilities for acting upon the policies and

procedures in the chapter. This section does not include (1) all Bureaus/Independent




The ADS Process

Part I-13

Offices affected by the chapter, (2) position descriptions, or (3) policy directives and

required procedures.

Place the responsible Bureaus/Independent Offices first in each part of this section. You

may type the Bureaus/Independent Offices or officials’ titles in bold to help them stand

out for readers.

c. Policy Directives and Required Procedures (xxx.3).

This section contains the Agency policy directives and required procedures applicable to

the chapter.

- Policy directives comprise clear and concise rules and regulations that the

Agency has identified as necessary for the proper conduct of its business.

- Required procedures identify more detailed courses of action that must be

followed.

- You may incorporate non-mandatory information, optional, helpful

information, and examples of best practices into this section to clarify USAID

policy and help employees carry out their duties. The distinction between

mandatory and non-mandatory guidance is made through the use of plain

language and standard directives terminology, as explained in the ADS Style

and Format Guide.

The ADS format allows you to combine policy directives and required procedures in this

section. Alternatively, you may separate policy directives from required procedure in this

section.

This section does not include (1) internal Bureau/Independent Office procedures (unless

they affect those outside that Bureau/Independent Office) or (2) text from external

regulations or other ADS chapters. In keeping with EO 12861, we hyperlink to the

appropriate external or internal reference document. List these documents in the

Mandatory Reference section – see section d (also see Part I, Section A.5, paragraph i

of this document).

Numerically coded subsections

Only the Policy Directives and Required Procedures section (xxx.3) of an ADS chapter may

include optional numerically coded subsections with subheaders that authors create. You may

include up to three levels of codified text, as in the following example:

501.3 Introductory policy directive or required procedure statement

501.3.1 Second level of policy directive/required procedure statements

501.3.1.1 Third level of policy directive/required procedure statements






The ADS Process

Part I-14

You may also create a, b, c, or 1, 2, 3 lists within these levels. These lists are not reflected in the

chapter’s Table of Contents.

The specifics for the structure and numeric codification of an ADS chapter are located in the

ADS Style and Format Guide, Part 2.

d. Mandatory References (xxx.4).

This section consists of three reference lists:

The first list contains external mandatory references. Some examples are

relevant Federal statutes, Executive Orders, Government-wide regulations (such

as OMB Circulars), and other documents published by a source external to

USAID (such as the CFR). You may list these documents in numeric-

alphabetical order.

For each chapter, this list must include the Authority or legally binding instrument

that authorizes or constrains the policy directives and required procedures in the

chapter. Designate an Authority by inserting the notation “(Authority)” after the

reference title.

The second list contains internal mandatory references, which are documents

created and published internally by the Agency. Examples are AAPDs, Policy

Papers, and other ADS chapters. List these documents in numeric-alphabetical

order.

The third list contains mandatory forms, for example, AID forms and Standard

Forms (SF). (See ADS 505, Forms Management Program) List forms in

numeric-alphabetical order.

The author must provide M/MPBP/POL with electronic copies of all references. These

electronic documents will be hyperlinked. The reader will be able to hyperlink from a

chapter to these documents. List both the full citation (if any) and the title. If your list of

references is long, you may include a table with subsections. For an example of this

reference list style, see ADS 200.4. See ADS Style and Format Guide for a visual

representation of the chapter sections.

e. Additional Help (xxx.5).

This section consists of non-mandatory guidance intended to assist employees in carrying

out their duties. Employees are strongly encouraged but not required to read this

material. This section contains two lists of hyperlinks:

The first list links to optional, helpful documents. Examples are Guidance on

Preparing Mission Orders and Model Checklist for Pre-obligation Requirements.







The ADS Process

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The second list links to optional forms (OF).

The additional help documents must appear in numeric-alphabetical order. List both the

full citation (if any) and the title. If your list is long, you may include a table with

subsections. For an example of this reference list style, see ADS 200.4.

Additional help documents do not require ADS clearance, but you must send them to

M/MPBP/POL for review before issuance and complete an AID Form 3-252 (see Part

III of this document, ADS Issuance Process).

Important considerations:

An additional help document may contain mandatory policy but may not contain

new policy. Some additional help documents (such as Policy Determinations and

Policy Papers) used to be Agency policy documents. They are now considered to

be additional help documents because they are no longer mandatory, but some

sections of the documents are regarded as relevant and helpful.

As a rule, employees are not required to adhere to guidance contained only in an

additional help document, but when guidance is stated in mandatory language and

the document cites the chapter or mandatory reference where the existing policy is

stated, employees need to adhere to that guidance.

Additional help documents are optional reading. Nevertheless, in the interest of

due diligence and adequate preparation you are encouraged to review and think

through issues identified in additional help documents.

A mandatory reference can be cited as an additional help document for another

chapter, but an internally created additional help document cannot be cited as a

mandatory reference.

If an additional help document needs to become a mandatory reference, it must

receive ADS clearance.

f. Definitions (xxx.6).

This final section contains the chapter’s unique terms and their definitions.

- Place your terms, followed by their definitions, in alphabetical order. Do not

capitalize terms unless you capitalize them in regular text.

- M/MPBP/POL includes these terms in the ADS Glossary, which contains an

alphabetical list of every term defined in the Definitions section of each ADS

chapter.




The ADS Process

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- When possible, each term should have only one definition that is applicable for

the Agency. Check the ADS Glossary for terms and definitions that apply to your

subject, and reference existing definitions where possible.

- When possible, authors should use the definition in the external authoritative or

regulatory source, if one exists, and identify the source in parentheses. Only

create a different Agency definition if it is unique to USAID and no other

generally accepted Federal definition exists. This practice facilitates

understanding when Agency personnel communicate with Federal colleagues.

B.3 ADS Glossary and Definitions Effective Date – 07/01/2004

a. New Definitions

If you need to create a new definition for a term, follow these parameters:

Only define terms that are unique to your subject matter and not universally understood.

Do not define words that are defined the same way in the dictionary.

Don’t state new policy or procedure in a definition.

Cite the appropriate governing external regulation if one exists.

– If the external definition is short, include it as a service to the reader.

– If the external definition is too long, you may simply cite the specific location of

the definition in the external regulation.

– If the existing external definition is too complex or is not written in plain

language, you may paraphrase it, but do not change the content. Be sure to cite

where in the regulation the definition can be found. If you need to change the

content of a definition that is defined by a governing external regulation, contact

the Office of the General Counsel (GC) for advice.

b. “Multiple Definitions”

Multiple definitions of the same term are possible only in one of the two following scenarios:

If there are substantive differences in the context to which the term applies, or

If different external regulations define the same term differently in different contexts.



The ADS Process

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c. Revising Definitions

ADS chapters must receive ADS clearance. But if you create, cancel, or make substantive

changes only to your definitions, you only need to send the definitions to other

Bureaus/Independent Offices that use the same definitions and M/MPBP/POL for clearance,

along with a completed AID Form 3-252, USAID Directives System – Issuance Request. If you

are revising a definition to comply with an external regulation, this is considered a conforming

amendment; it does not require clearance but does require an AID 3-252.

(See Part II, Section E of this document)

B.4 Hyperlinking From an ADS Chapter to Another Document Effective Date – 07/01/2004

Hyperlinks from the Internet to the USAID intranet are prohibited. You may cite the intranet

URL, but it cannot be a live link. However, those people with intranet access can copy and paste

the URL into their browser to access the document. You are allowed to:

Link from the USAID intranet to external sites.

Link from the USAID intranet to the USAID Internet.

Link from a document housed only on the USAID intranet to other USAID intranet sites.

You are not allowed to link from the Internet (outside) to the USAID intranet (inside). You may

cite the intranet URL (Web address), but you may not create a live hyperlink to the intranet site

from a document housed on the Internet.

If you would like to hyperlink to a mandatory reference, an additional help document, or another

section within your chapter, you must indicate that hyperlink by typing the document title or

section number in blue, bold, underlined text. For example,

Information on Agency Notices can be found in ADS 504.

Section 508 accessibility standards, described in 36 CFR 1194, Electronic and

Information Technology Accessibility Standards, apply to this chapter.

When you do this, M/MPBP/POL will know where to insert the appropriate technical code to

create a hyperlink. When your readers click on this hyperlink they will be taken to the

appropriate document.

On the ADS Web site, M/MPBP/POL will link to an online version of the specific reference if

provided. If not, we will link to the appropriate agency’s home page for laws, statutes, and

regulations (e.g., CFRs, EOs).


http://www.access.gpo.gov/nara/cfr/waisidx_01/36cfr1194_01.html



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When you revise a chapter, work only with the most recent version. Contact the ADS staff at

[email protected] to obtain the most recent version.

You may choose to insert additional hyperlinks when revising a chapter. Please use the Agency

standard hyperlink blue, bold, underlined font for links.



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Section C. Technical Format Requirements

C.1 Required Technical Format for ADS Chapters and References Effective Date – 07/01/2004

The lists below are based on the technical requirements that the Agency has adopted. (See the

ADS Style and Format Guide for more details.)

a. Required technical format for ADS chapters:

MS Word document

Arial 12 pt. font

One-inch margins on all sides

Left justified text

Page numbering (bottom of page, right)

b. Optional technical format for ADS chapters:

Bold text

Underlined text

Italicized text

Tables and charts

(Keep in mind that your document will often be printed in black and white.

When transformed into shades of gray, different colors may look the same.

Do not make reference to colors without a legend.)

Hyperlinks

Automatic numbering of lists

Bulleted lists

Endnotes and footnotes

Common graphic files such as JPEG, GIF, and Bitmap (BMP) files. To

comply with Section 508 accessibility standards, if you include an image file,

you must create a text description to accompany each image. (TIFF files are

not allowed.)

c. Do not use the following MS Word features when creating ADS chapters:

Headers

Footers except for page numbering

Automatically inserted dates

Bookmarks

Color (text)

Moving text/animation




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d. Do not use the following features when creating ADS references:

Automatically inserted dates

Moving text/animation

e. Do not use the following features when creating the final version of ADS

chapters or references:

Track changes

Comments

If you use either of these MS Word features during the drafting/revision process, delete them all

before sending the final version to M/MPBP/POL. They are a security risk because anyone can

view them in your document.

f. Font size:

As a general rule, don’t use a font size any smaller than Arial 10 in ADS references.

Forms and tables within a chapter that require smaller fonts in order to fit the screen may

be exceptions to this rule.

g. Styles:

If you use the Styles feature in Word, keep the styles as simple and minimal as possible.

M/MPBP/POL will insert ADS header styles and an automatic table of contents in ADS

chapters.

Before creating an ADS reference with a product (or software package) not included in the

Microsoft Office Suite, please contact M/MPBP/POL. (See Part I, Section C.3 for Agency

form requirements.)

In addition to the requirements in this section, you must comply with user accessibility standards

as defined by Section 508 of the Rehabilitation Act (see Part I, Section C.2).

C.2 Section 508 Format Requirements Effective Date – 10/15/2002

Section 508 of the Rehabilitation Act requires that

“Federal employees with disabilities have access to and use of information that is

comparable to the access and use by Federal employees who are not individuals with

disabilities, unless an undue burden would be imposed on the agency; and

Members of the public with disabilities seeking information or services from an agency

have access to and use of information and data that is comparable to the access and use



The ADS Process

Part I-21

by members of the public who are not individuals with disabilities, unless an undue

burden would be imposed on the agency.”

In order to provide documents that are accessible to individuals with disabilities and to meet the

requirements of Section 508 of the Rehabilitation Act, authors must adhere to the following

guidelines:

a. ADS Chapters and Internally Created References

(1) Tables: Use the Insert Table command on your toolbar in Word to format

material in Word table structure. Word tables create cells in gridlines that are

navigable using the Tab key. Do not create tab tables. Tab tables are created by

using the Tab key to line up the columns. Tab tables are not a true table structure

and are not accessible to users with disabilities.

(2) Charts/graphics: Use charts and graphics only when necessary and

provide a text description before or immediately following the chart or graphic.

b. Externally Created References

If you are unable to supply the ADS Editor with a URL, you must send a Word or text

file so that M/MPBP/POL can scan it in. Obtain Word or text versions of all external references

and send them to M/MPBP/POL . If you submit a PDF version, it must be Section 508

compliant. If the document is not compliant and you are unable to locate a Word or text version,

you must supply M/MPBP/POL with an e-mail address for readers to contact if they cannot

access the document.

See mandatory reference, 36 CFR 1194, Electronic and Information Technology Accessibility

Standards.

Consult the following Web sites for more information on Section 508:

http://inside.usaid.gov/M/accessibility/ [This Web site is available only to those

with access to USAID’s intranet.]

http://www.section508.gov/

C.3 Forms Effective Date – 01/29/2002

In accordance with Section 508 of the Rehabilitation Act, when electronic forms are used, the

form must allow people using assistive technology to access the information, field elements, and

functionality required for completion and submission of the form, including all directions and

cues. (See mandatory reference, 36 CFR 1194) If your ADS material refers to a form, you must

obtain a Section 508-compliant version of the form.





The ADS Process

Part I-22

Submit new and revised AID forms to M/MPBP/POL for clearance. (See ADS 505, Forms

Management Program, and Part II of this document, ADS Clearance Process)

C.4 Exceptions to the Format Requirements Effective Date – 01/29/2002

There are three exceptions to the ADS format requirements:

a. Prior Guidance. Some old AID Handbook sections included in the ADS have

not been converted to the standard format required by the Agency. Handbook authors

must format these old sections and incorporate them into the applicable functional series

as time and resources permit.

Similarly, authors of ADS chapters issued or in process before March 31, 2000, must

convert the chapters to plain language and the standard format as time and resources

permit. (See mandatory reference, Presidential Memorandum on Plain Language)

Additionally, when revising mandatory references and additional help documents, you

must write them in plain language.

b. Interim Updates. Interim Updates issued as Policy Notices and Policy Cables

have a required format. Policy Notices and Policy Cables must include the effective date

of the new or revised material, a statement about what the material replaces, if applicable,

and which ADS chapter it will be incorporated into. (See ADS 504 for Notice

information and ADS 549, Telecommunications Management, for cables.)

c. Mandatory References and Additional Help. You may format internally

created references to best meet your needs. However, you must adhere to the technical

formatting and Section 508 requirements in Section C above and write them in plain

language.


http://www.plainlanguage.gov/cites/memo.htm



The ADS Process, Part II: ADS Clearance Process 12/24/2008 Revision


The ADS Process

Part II-23

Part II: ADS Clearance Process

Part II provides a step-by-step guide to the ADS clearance process and addresses the roles of

both authors and clearing officials.

Section A. Authors

A.1 Required Clearance Process for ADS Material Effective Date: 06/01/2007

Authors must obtain clearance for all new, substantively revised, or canceled material before

issuance. ADS material includes chapters, terms and definitions, USAID-created mandatory

references, AID Forms, Acquisition & Assistance Policy Directives (AAPDs), Policy Notices,

Policy Cables, and AID Handbook changes. You must also obtain clearance for documents

created by another Bureau/Independent Office or by a contractor if you want to include them in

the ADS. Only direct hires may send ADS material out for clearance.

Additional help documents do not require ADS clearance, but you must send them to

M/MPBP/POL for review before issuance. However, if an additional help document needs to

become a mandatory reference, it must receive ADS clearance.

Note: The Office of Inspector General (OIG) “reviews and comments but does not clear” on

ADS material relating to the specific topics listed in the mandatory reference, Clearance List

for ADS Material.

Please note that the Office of Equal Opportunity Programs (EOP) does NOT provide its ADS

material to the unions for review and comment before sending it out for ADS clearance.

Are there exceptions to the ADS clearance process? Yes, see Part II, Section F.1 of this

document.

There is only one clearing official per Bureau/Independent Office. If, however, due to time

constraints or leave, an ADS clearing official must nominate, in writing, another USAID

employee to act as his or her Bureau’s/Independent Office’s clearing official and send it to

[email protected]. Please see Part II, Section B(1) of this document for more information.

When a primary clearing official asks another USAID employee to review ADS material out for

clearance, the employee may send their findings to the primary clearing official, who will review

it and send it back to the author. That same USAID employee may also send it directly to the

ADS author. In this case, the primary clearing official must send an e-mail to [email protected]

notifying M/MPBP/POL that this employee will be the primary clearing official (for this

instance) for the ADS material for her Bureau/Independent Office.

The primary clearing official is ultimately responsible for providing a clearance response

and so must communicate with the designated clearing official.



mailto:[email protected]




The ADS Process

Part II-24

A.2 How Do I Obtain Required Clearances? Effective Date: 06/01/2007

During the ADS clearance process, authors may only accept official clearance from the

authorized clearing official for a Bureau/Independent Office (see Clearance List for ADS

Material), unless the official nominates, in writing, a different individual to clear that document

on their behalf.

As an author, you must

a. Check the clearance list. Before distributing material for clearance, contact

M/MPBP/POL for the most recent Clearance List for ADS Material. Those

Bureaus/Independent Offices listed in the first section (“Always Required”) of this

mandatory reference must be given an opportunity to review, comment, and clear the

ADS material. Bureaus/Independent Offices listed in the second section (“Sometimes

Required”) of the same mandatory reference review and clear only material that relates to

specific topics. The author must review the second section and send material to the

appropriate Bureau/Independent Office.

b. E-mail your clearance request. Provide draft ADS material to clearing officials and

solicit clearances by electronic means. If appropriate, also attach new and revised

external references for clearing officials. (See Sample E-Mail Requesting ADS

Clearance)

Global address list - You may use the global address list called “ADS Clearance

Mail List” to capture all of the “always required” clearance points. If you use this

global address list, you must also remember to check the “sometimes required”

section of the mandatory reference, Clearance List for ADS Material, for

additional clearing officials.

Read receipts - You must obtain a “read receipt” or an e-mail response from each

clearing official (see also Section C.1). You must print and keep these read

receipts for your ADS clearance package.




http://www.usaid.gov/policy/ads/500/501sac.pdf





The ADS Process

Part II-25

Read Receipts Here’s how:

When you are composing your e-mail message in Outlook,

Click on the Options button at the top of the message.

Under “Voting and Tracking Options” check the box next to “Request a

read receipt for this message.”

When the recipient of your e-mail opens the message, you’ll get an e-mail

that tells you what day and time they’ve opened it.

Print this out.

Include this with the clearance package that you send to M/MPBP/POL.

Subject line - Type “ADS Clearance Requested” at the beginning of your e-mail

subject line. This information helps the clearing officials know what you’re

sending. (See Sample E-Mail Requesting ADS Clearance)

Time frame - Counting from the day after you send out the draft with a request

for clearance, allow clearing officials a full 10 working days to clear. State the

response deadline in your e-mail.

Clearing officials have 10 business days to respond (15 business days for a large

volume of material). Remember, clearing officials still have the option of asking

for more time, not to exceed five additional business days, but it is at the author’s

discretion to grant this request. Clearing officials are asked to provide a brief

reason for needing more time, if they request it. If a clearing official or

designated back-up does not respond within the clearance deadline, their

Bureau/Independent Office forfeits its right to clear and comment on that

material.

Since many clearing officials take annual leave during the holiday season (starting

with the Thanksgiving holiday and through the end of the calendar year), authors

are strongly discouraged from sending material out for ADS clearance during this

time. If you do send material out for clearance during this period, then you must

give the clearing officials more time than usual (approximately three weeks) to

review the material.

Clear direction - Indicate in your request for clearance that clearing officials

have the option to do one of the following in writing by the clearance deadline:

- Advise that they clear the material;

- Advise that they cannot clear until their substantive comments are

resolved (they must include their comments and clearly state that they are

substantive);




The ADS Process

Part II-26

- Advise that they clear the material and are including non-substantive

comments or suggestions for your consideration;

- Advise that clearance by that Bureau/Independent Office is not required or

is not applicable; or

- Request additional time.

Description of New Policy - Include a brief description (for example, bullet

points) of the new or revised policy/procedure that you’re asking them to clear.

You may also use the strikeout, highlighting, and underlining commands to show

proposed changes in your document.



The ADS Process

Part II-27

Section B. Clearing Officials

B.1 Clearing Officials’ Responsibilities Effective Date – 06/01/2007

Clearing Bureaus/Independent Offices must designate and inform M/MPBP/POL of a single

contact person to respond to requests for clearance. (Send the contact person’s name to the ADS

mailbox at [email protected].) If a clearing official changes, the Division Chief or Director of that

Bureau/Independent Office must notify M/MPBP/POL of the change in writing via e-mail at

[email protected] . This person, the clearing official, must ensure that the appropriate personnel

analyze clearance drafts. This consists of consulting with all appropriate Bureau/Independent

Office, and Mission staff.

Clearance documents constitute the official record. It is therefore imperative that all clearances

be provided in writing. M/MPBP/POL retains these official records and may be asked to provide

them to Agency officials at a later date. As a clearing official, you must be prepared to be an

active participant in the process detailed below.

As a clearing official, you must not delete e-mails requesting clearance before reading them. If

you delete clearance requests before reading, M/MPBP/POL will require that a different

individual in that Bureau/Independent Office be given clearance responsibility.

As a clearing official you must

a. Review ADS material for Agency compliance/conformity with policies and

practices that have broad applicability to the entire Agency.

b. Provide comments and suggestions primarily to substantive issues, rather than

routine editing. You may recommend editorial changes if important for clarity. (ADS

101 is an exception to this part of the clearance process; see Part II, Section F.1 of this

document for details.)

c. Deliver one of the following responses to the author by the clearance deadline:

- Advise that you clear the material;

- Advise that you cannot clear until your substantive comments are resolved (you

must include your comments and clearly state that they are substantive);

- Advise that you clear the material and are including non-substantive comments

or suggestions for the author’s consideration;

- Advise that clearance by your Bureau/Independent Office is not required or is not

applicable; or

- Request additional time.

Do not send comments without stating whether you clear or not. Authors may not

proceed unless they have your clearly stated clearance.




The ADS Process

Part II-28

d. If the material is sent out again, deliver one of the responses specified in

paragraph c above to the author within five business days. Your review is limited to the

part that has changed.

Here are two scenarios of what can happen when ADS material is substantively revised

during the initial ADS clearance process:

An ADS chapter is sent out for clearance. Text in the chapter is substantively

modified as a result of this first clearance. Therefore, the chapter will need to be sent

out for re-clearance. The author must note in the re-clearance e-mail that text has

changed and that the change may or may not affect other parts of the chapter.

An ADS chapter is sent out for clearance. Some text in the chapter is deleted as a

result of this clearance. Therefore, the chapter needs to be sent out for re-clearance.

The author must note in the re-clearance e-mail that text has been removed and that

this change may or may not affect other parts of the chapter.

e. Designate an alternate clearing official if you will be away from the office for

three days or longer. Please use the Out of Office Assistant feature. This Outlook feature

will let ADS authors know that you are out of the office and direct them to your

Bureau/Independent Office’s backup for the ADS clearance process.

Out of Office Assistant Here’s how:

1. Before you leave the office

Click on the Tools menu at the top of your Outlook screen.

Click on Out of Office Assistant.

Click on the button that says “I am currently Out of the Office.”

Add text to the Auto Reply box, e.g., “I will be out of the office until

April 23, 2008. In my absence, please contact John Doe for ADS

inquiries and Jane Doe for all other matters.”

2. When you return to the office

Click on the Tools menu at the top of your Outlook screen.

Click on Out of Office Assistant.

Click on the button that says “I am currently In the Office.”

or

If a pop-up box appears in Outlook when you return to the office, click “yes” to

turn off the Out of Office Assistant.



The ADS Process

Part II-29

If you neglect to indicate your ADS back-up in your Out of Office e-mail, and if you don’t

respond by the clearance deadline, your Bureau/Independent Office will forfeit its right to

clear on that material. Clearing officials must indicate either who to contact for all issues

(including ADS issues) or who to contact for specifically ADS issues.

Additional obligations of clearing officials:

If you have set your Outlook e-mail system to “Never send a response” to requests for read

receipts, the author is left without a read receipt and does not know if you’ve read the clearance

request. In this case it is your responsibility to send the ADS author an e-mail letting them

know that you have read their e-mail.

If you nominate someone else in your Bureau/Independent Office to clear a particular document

on your behalf, provide written confirmation of this during the clearance process to

M/MPBP/POL at [email protected].



The ADS Process

Part II-30

Section C. Authors and Clearing Officials

C.1 What If a Clearing Official Does Not Respond? Effective Date – 07/01/2004

When sending material out for clearance or re-clearance, if you, the author, do not receive a read

receipt or a response from a clearing official at the end of three full working days, contact the

clearing official and ask them to answer your e-mail. Resend your e-mail if they did not receive

it the first time.

Once you have all your read receipts and any responses, including your documented follow-up

with any non-responders after three business days, you may proceed with preparing your

material for issuance. You must include a read receipt, documented follow-up, or response from

each clearing official as part of the AID Form 3-252 (Directives System - Issuance Request)

package.

C.2 How Do Authors Respond to a Clearing Official’s Comments?


a. If you receive substantive comments from clearing officials

You must respond to all substantive comments. You must either

Incorporate comments into your material, if appropriate. You must then re-circulate

substantively revised material to all clearing officials for ADS clearance, together

with an explanation or notation of the changes.

- Authors must allow clearing officials five business days to respond.

Clearing officials’ review is limited to that part which has changed. (Please refer to

the scenarios on page II_28 for more information on this point.)

- Purely editorial revisions do not require another clearance.

or

Contact the clearing official for written agreement if you are not going to incorporate

all comments. (For example, sometimes you may agree to wait to incorporate

comments until the next revision of the document.)

b. If you receive non-substantive comments from clearing officials

If comments are purely editorial in nature, or if they are included as suggestions only, you may

choose whether to incorporate them. Editorial changes do not require further clearance.



The ADS Process

Part II-31

C.3 How Are Differences and Disputes Between Authors

and Clearing Officials Resolved? Effective Date – 01/01/2005

Differences

While authoring Bureaus/Independent Offices and clearing officials must attempt to resolve

substantive and jurisdictional issues raised in the clearance process, this is not always possible.

Depending on the circumstances, involved Bureaus/Independent Offices must raise the issue to

an appropriate level to reach resolution.

M/MPBP/POL will not proceed to publication without resolution on all clearance comments.

Include documentation (e-mail or memo) from all parties proving that final resolution has

occurred.

Disputes

Authors and clearing officials must make every effort to resolve all substantive issues raised

during the ADS clearance process within 30 calendar days after a clearing official returns a

“non-clearance with substantive comments” response to the author. If the author and clearing

official are unable to reach resolution on all issues themselves, they must immediately elevate

the issues within the Bureaus/Independent Offices concerned to the level necessary to reach

resolution within this 30-day timeframe.

The author and clearing official must first elevate the issues to their Bureau/Independent Office

heads. If no resolution is reached, the issues must be raised to the next level. The final effort

prior to contacting the Agency Counselor is resolution at the DAA level.

If an issue remains unresolved after 30 calendar days, together the authoring Bureau/Independent

Office and clearing Bureau/Independent Office must schedule an appointment with the Agency

Counselor within a reasonable timeframe and present the issue to her or him for arbitration.

Both the authoring Bureau/Independent Office and clearing Bureau/Independent Office may

request that their Director, DAA, or AA represent them at arbitration. The Agency Counselor

will use all resources necessary to make a decision, including consultation with the

Administrator and Deputy Administrator as needed.

The Agency Counselor will reach a decision within 15 business days of hearing the case. The

Agency Counselor’s decision is final.

Exception

Exceptions to the 30-day timeframe may be granted on a case-by-case basis by the Division

Chief of M/MPBP/POL. The authoring Bureau/Independent Office and clearing

Bureau/Independent Office must e-mail their request for additional time to the Division Chief for

M/MPBP/POL. .



The ADS Process

Part II-32

Section D. M/MPBP/POL and Authors

D.1 What Is M/MPBP/POL’s Role in the ADS Clearance Process?


The M/MPBP/POL Division Chief, or delegate, must review and approve all cleared, final ADS

material before issuance. In addition to its role as the approving Bureau/Independent Office,

M/MPBP/POL

Ensures that all appropriate clearing officials are contacted;

Informs the author of any omitted clearing official;

Reviews the document (this includes additional help documents and documents

created by contractors) for grammatical errors and adherence to ADS style and

format and makes constructive suggestions in the interest of improving the document;

May identify duplicative or conflicting policy; and

Maintains the official list of required clearances containing the name of a contact

person for each clearing Bureau/Independent Office, and circulates changes to the list

for informational purposes. (See Clearance List for ADS Material)

D.2 How Do I Respond to M/MPBP/POL’s Comments? Effective Date – 07/01/2004

M/MPBP/POL Editors review ADS material for grammar, punctuation, ADS format, and plain

language. If an edit inadvertently changes the intent of a sentence, M/MPBP/POL is available to

assist the author with creating a grammatically correct sentence that accurately reflects the policy

and procedure. In all other situations, authors are responsible for incorporating M/MPBP/POL’s

grammar, punctuation, format, and plain language edits. Finally, authors must give

M/MPBP/POL’s other queries and comments the same consideration as any other clearing

official in the clearance process.

D.3 Do I Have to Document Clearances? Effective Date – 07/01/2004

Yes. You, the author, must maintain documentation showing all responses and clearances

received from clearing officials. Documentation includes

Your original request for clearance,




The ADS Process

Part II-33

Read receipts,

Documented follow-up with non-responders after three business days,

Clearing official comments,

Written explanation of actions taken, and

All supporting documentation.

You must include these documents in the final issuance request package that you send to

M/MPBP/POL. (See Part III of this document, ADS Issuance Process)



The ADS Process

Part II-34

Section E. Editorial Changes, Conforming Amendments

E.1 Must Editorial Changes and Conforming Amendments Be Cleared?

Effective Date: 10/15/2002

No, editorial changes and conforming amendments do not require ADS clearance.

a. Editorial changes. Editorial changes are simple clarifications that DO NOT alter

the substantive meaning of the ADS material. Editorial changes include punctuation changes,

grammar corrections, reordering existing material and adding headers for ease of use, updates to

Bureau/Independent Office symbols, address and name changes, and hyperlinking additions.

The author must complete the first page of an AID Form 3-252, Issuance Request, and send it to

M/MPBP/POL .

b. Conforming Amendments. Conforming amendments are policy that does not

require ADS clearance because it alters ADS material in one of the following four ways:

Includes new or revised external regulations only; this does not include the

creation of new or revised USAID procedures to implement the regulation;

Complies with policy already contained in other ADS chapters or internal

mandatory references;

Incorporates written policy issued by the Administrator; or

Amends or adds one Bureau/Independent Office’s procedures that do not have a

substantial impact on any other Agency Bureau/Independent Office. Authors

must send M/MPBP/POL an e-mail explaining how the change does not

substantively impact another Bureau/Independent Office.

You must complete the first page of an AID Form 3-252 and send it to M/MPBP/POL to have

conforming amendments issued.

For issuance, the author must create a Policy Notice and submit it to M/MPBP/POL for

issuance. This Policy Notice does not require ADS clearance. (See ADS 504 for information

on Notices and Sample Policy Notice Issuing New or Revised ADS Material.)

(Note: Substantive changes are changes that alter the meaning or intent of the policy or

procedure.)


http://www.usaid.gov/policy/ads/500/501sab.pdf



The ADS Process

Part II-35

Section F. Exceptions

F.1 Are There Exceptions to the ADS Clearance and Issuance Process?


Yes. A description of current exceptions to the ADS clearance process and instructions on how

to obtain an exception follow:

a. Current Exceptions

(1) Administrator: Administrator-issued policy: The Administrator or Deputy

Administrator may issue guidance, which is incorporated into the ADS as a conforming

amendment.

When the Administrator issues a policy that supersedes a specific ADS chapter in whole

or in part, the new policy immediately becomes Agency policy and belongs in the

Agency’s directives system. The author of the applicable chapter or reference is

responsible for incorporating it into the ADS via a conforming amendment.

The Administrator’s Notice or Policy Notice issued by the Administrator remains as is

and valid until it is incorporated into the appropriate ADS chapter or reference or is

canceled. M/MPBP/POL is the Bureau/Independent Office responsible for converting

these types of Notices into Interim Updates and posting them to the ADS Web site. It is

an ADS author’s responsibility to update ADS material to reflect the new policy released

from the Administrator. Once this has been completed, the Interim Update is removed

from the system and the new/revised ADS material is posted to the ADS Web site.

(2) MOC: Management Operations Council (MOC) decisions that require changes

to the ADS are subject to intensive and high-level Agency review, and therefore are

granted an exception to the regular ADS clearance process. The responsible

Bureau/Independent Office must complete an AID Form 3-252, indicate that the changes

were approved by the MOC, and attach documentation of the MOC approval. The

Assistant Administrator, Bureau for Management, must sign the AID 3-252. Authors

should send draft MOC Notices and any related ADS material to [email protected] for

review before issuance.

(3) ADS 101: Clearing officials may submit only editorial changes during the ADS

clearance process for ADS 101, Agency Programs and Functions. You may not request

substantive changes during this period. Substantive changes to ADS 101 can only be

made in accordance with the procedures outlined in ADS 102, Agency Organization (see

ADS 102.3.10).

(4) ADS 103: ADS 103, Delegations of Authority, is exempt from the ADS

clearance process. The author of this chapter must submit changes and a completed AID




The ADS Process

Part II-36

Form 3-252 to M/MPBP/POL for review before M/MPBP/POL will issue the revised

chapter. (See Part III of this document, ADS Issuance Process)

ADS 101, Agency Programs and Functions, and ADS 103, Delegations of Authority, are

exceptions to the ADS issuance process. These chapters explain the functions and

responsibilities for each Bureau/Independent Office and the Agency's delegations of

authority. Since these chapters are updated frequently, there is no need for the authors to

issue Agency Policy Notices every time they are updated. However, changes to these

chapters will be posted to the ADS Web site within 6-11 days of completion of the final

version. These authors are still required to submit the electronic documents to

M/MPBP/POL for final review and must submit the required hardcopy documentation as

cited in Part III, Section 1 to M/MPBP/POL.

(5) AID Forms: If a revision to an AID Form does not change any policy or

procedure, send proposed changes to the M/MPBP/POL Forms Manager (see ADS 505,

Forms Management Program). If the form creates or revises policy or procedure, you

must also distribute it for ADS clearance.

(6) AAPDs: Acquisition and Assistance Policy Directives (AAPDs) that contain

Agency-wide policy and procedure are issued as Policy Notices after going through the

ADS clearance process. However, all AAPDs and Contract Information Bulletins (CIBs)

are mandatory references for ADS 302, USAID Direct Contracting, ADS 303, Grants and

Cooperative Agreements to Non-Governmental Organizations, and the AIDAR. M/OP

posts all AAPDs and CIBs to the following Web site:

http://www.usaid.gov/business/business_opportunities/cib/. If an AAPD does not

issue new or revised Agency-wide policy or procedure, or if it is a conforming

amendment, it does not need ADS clearance. To the maximum extent practical, author

Bureaus/Independent Offices should place Agency-wide policy directives and required

procedure in the body of the applicable ADS chapter and not in an AAPD or other

reference. (See Part III of this document, ADS Issuance Process, for more information

on AAPDs.)

(7) HR: The Office of Human Resources (OHR) will use its judgment in deciding who

will be involved in the development of its ADS policies and procedures (e.g.,

Administrative Management Staff (AMS)) and will document, in writing, such

involvement for ADS records.

The entire list of ADS clearance officials does not clear on HR’s ADS materials that

require negotiation between USAID and the unions. However, the Office of General

Counsel (GC), and, as appropriate, the Office of Equal Opportunity Programs (EOP),

must clear HR’s material before submission to the unions.

HR must also send material to M/MPBP/POL before union clearance. (See Part II,

Section D.1, What is M/MPBP/POL 's Role in the ADS Clearance Process?)

M/MPBP/POL will return any comments to M/HR within 10 business days.


http://www.usaid.gov/business/business_opportunities/cib/



The ADS Process

Part II-37

Once agreement is reached with the unions, HR will provide an advance copy of the

materials to the designated ADS clearing official in LPA when the subject matter is

within the scope of LPA responsibilities. The final materials will then be provided to

M/MPBP/POL for issuance.

M/HR must send the final material and clearance package, which includes the 3-252, to

M/MPBP/POL for issuance. (See Part III of this document, ADS Issuance Process)

(8) USAID CFR's: All USAID Code of Federal Regulations (CFRs) published in the

Federal Register are exempt from the regular ADS clearance process. However, GC and

any other appropriate Bureau/Independent Office must clear the regulation. Externally

issued mandatory references, such as statutes, regulations, and Executive Orders, are also

exempt from the clearance process.

(9) FAM/FAH: [Reserved] At this time, the FAM and the FAH are not processed

through the ADS.

(10) Acronyms/Bureau/Independent Office Symbols Update: If an ADS chapter or

mandatory internal reference has an update to acronyms or office symbols (due to a

reorganization), then the material does not need to go out for clearance (even though it is

a substantive change) because it is considered a conforming amendment. The ADS

Editor will work with the ADS author to effect the change. However, the authors still

must complete the first page of the Automated Directives System (ADS) Issuance

Request Form – AID Form 3-252 where it requires signatures.

(11) Two ADS 501 references (ADS Chapters and Authors List and Clearance List

for ADS Material) and one ADS 504 reference (Authorized Senders for Agency

Notices) are updated frequently as conforming amendments. M/MPBP/POL e-mails

updated versions of these references to specific lists of users and posts them to the ADS

Web site within 6-11 days of the change.

(12) Conforming amendment

Policy that does not require ADS clearance because it alters ADS material in one of the

following four ways:

Includes new or revised external regulations only. This does not include the

creation of new or revised USAID procedures to implement the regulation;

Complies with policy already contained in other ADS chapters or internal

mandatory references;


Amends or adds one Bureau’s/Independent Office’s procedures that do not have a

substantial impact on any other Agency Bureau/Independent Office. Authors

http://www.usaid.gov/forms/a3-252.doc




The ADS Process

Part II-38

must send M/MPBP/POL an e-mail explaining how the change does not

substantively impact another Bureau/Independent Office. (Chapter 501)

b. How to Obtain an Exception

If the Director of an author Bureau/Independent Office needs to deviate from the existing

ADS issuance process, he or she must request an exception from the Division Chief of

M/MPBP/POL by submitting a memorandum and completing an AID Form 3-252.



The ADS Process

Part II-39

Appendix A

Sample E-Mail Requesting ADS Clearance Below is an actual e-mail requesting ADS clearance that was sent out in 2007. It is a strong example of a clearance e-mail because it contains the correct subject line information, it describes for the clearing officials the major changes to the material, and it provides the clearing officials with the proper choices for responding. The deadline for responding to the clearance request is also clearly stated more than once. From: Paul Issy Sent: Tuesday, February 20, 2007, 8:16 AM To: ADS CLEARANCE Mail List (M.AS.IRD) (USAID) Cc: Subject: ADS Clearance Requested by COB 03/06/2007 – ADS 501, The Automated

Directives System ADS Chapter 501, The Automated Directives System, has been revised. This chapter provides the guidelines for USAID’s directives program. (Please note: This revision does not change the ADS chapter format.) Summary of changes:

The chapter has been reduced to a summary of the essential points and highlights of key policies and procedures.

Three internal mandatory references and two additional help guides have been separated out from the chapter. Each of these references is aimed at a specific audience; therefore, some information may be repeated in more than one place. Our goal was to make each manual a user-friendly guide to a specific topic.

Please review the attached revision and respond by COB March 6, 2007, with

Advise that you clear the material;

Advise that you cannot clear until their substantive comments are resolved (they must include their comments and clearly indicate that they are substantive);

Advise that you clear the material and are including non-substantive comments or suggestions for the author’s consideration;

Advise that clearance by your Bureau/Independent Office is not required or is not applicable; or

Request additional time. I encourage you to ask ADS authors within your Bureau/Independent Office to also review and comment on the material. Please keep in mind that unless you have designated someone else, all comments and clearance must come from you, the clearing official. Please let me know if you have any questions. Thank you.

The ADS Process, Part III: ADS Issuance Process 12/24/2008 Revision


The ADS Process

Part IV-40

Part III: ADS Issuance Process

This Part details the final steps that you, as an author, need to take to issue your ADS material.

1. Submitting Your ADS Material to M/MPBP/POL for Issuance


Once you receive all required ADS clearances and resolve any differences with clearing officials,

you must submit the following material to M/MPBP/POL:

a. Hardcopy material

A completed hardcopy of AID Form 3-252, USAID Directives System –

Issuance Request. Include a detailed description of new material, changes,

deletions, or additions on or attached to the form. Include clearance information

on page 2 of the form. Attach the following to the form:

A hardcopy of the final, cleared ADS material, and

All hardcopy documentation related to ADS clearances, including all read

receipts, documented follow-ups, clearing official comments, written

explanation of actions taken, and any supporting documentation.

b. Electronic material through [email protected]

An electronic copy of the cleared ADS material. (You should copy your

Bureau’s/Independent Office’s ADS Directives Coordinator on this submittal e-

mail.) Remove all strikeouts and highlights. For security reasons, also remove all

MS Word track changes and comments before sending your final version to

M/MPBP/POL. Track changes and comments are a security risk because anyone

can view them.

External references:

-- For the ADS Web site, send the Web address or an electronic version of

the document.




The ADS Process

Part IV-41

2. What Happens After You Submit Your Material? Effective Date – 07/01/2004

The following steps occur after the author submits the required documentation detailed in

Section 1 to M/MPBP/POL:

a. M/MPBP/POL reviews the cleared chapter or reference for ADS style, ADS

format, punctuation, and grammar. M/MPBP/POL sends the material back to the author with any corrections and final suggestions.

b. The author makes any appropriate changes and sends the material back to

M/MPBP/POL for publication.

c. M/MPBP/POL prepares the final version as follows:

For a chapter, M/MPBP/POL

Adds the Revision date or New Chapter date at the top right corner of each page

(see Part III, Section 3).

Adds or updates the Effective Date underneath each section or policy header.

Sets page breaks.

Creates an automatic table of contents with links to each section.

For a reference, M/MPBP/POL

Adds the Revision date or New Reference date in the header in the top left corner

of the first page (see Part III, Section 3).

Adds the Effective Date on the first page.

Sets page breaks.

M/MPBP/POL e-mails the author a copy of the final version for their records. M/MPBP/POL checks the entire 3-252 package for required clearances, and retains all master copies of

documentation submitted by authors.

3. Effective Dates, Revision Date, New Issuance Date, and Origination Date

Effective Date: 08/21/2006

a. Effective Dates are the dates when specific sections within an ADS chapter become

effective. The author provides these dates to M/MPBP/POL on the AID Form 3-252.

M/MPBP/POL will insert the new Effective Date under each section or subsection header of a

chapter that was substantively revised (that is, marked with an asterisk). See Part I, Section A.4

of this document for a discussion of asterisks.



The ADS Process

Part IV-42

Additionally, each internal mandatory reference has an Effective Date. This date will appear in

the lower right corner of the cover page of the document.

b. The Revision date appears in the upper right corner of each page in a revised ADS

chapter and in the lower right corner of the cover page in a revised internal mandatory reference

or additional help document. This is the date that M/MPBP/POL finalized the document for

distribution. This date is not an effective date for policy directives or required procedures in the

document.

c. The New Chapter/New Reference date indicates the date M/MPBP/POL finalizes a

new chapter or internally created reference for issuance. The date appears in the lower right

corner of the cover page and in the header on each page in a new ADS chapter, new internal

mandatory reference or new additional help document.

d. The origination date is the date that the requesting official signed the AID Form 3-252

for the original chapter or reference. M/MPBP/POL began to track origination dates in January

2002.

4. The Way to Issue Your Material Effective Date – 07/01/2004

Here is the way to issue your ADS material:

Issue a USAID/General Policy Notice announcing its release, with the ADS chapter, mandatory

reference, or additional help document attached. The following points apply to Policy Notices:

Policy Notices may be issued any time after you receive the final, cleared version of your ADS

material back from M/MPBP/POL and you complete an AID Form 3-252.

M/MPBP/POL posts Policy Notices to the Notice database and distributes them on a nightly

basis to every employee in USAID/W and to specific mailboxes within all Missions. All Notices

sent to Missions are distributed separately within the Mission to Agency personnel.

Within 6-11 days of issuance as a Policy Notice, your material will be posted to the ADS Web

site. See Timeline: Four-Step Process and Issuing ADS Material for the specific timeframes

M/MPBP/POL and LPA have allotted for linking and posting material to the Web.

You may use the Sample Policy Notice Issuing New or Revised ADS Material as a template

for writing your Policy Notice.

Please state in the Subject line of your Policy Notice whether the issuance is a substantive

revision, editorial change, conforming amendment, or reformatting and rewriting the chapter in

plain language.

See ADS 504 for guidance on processing and sending Policy Notices to M/MPBP/POL.

http://www.usaid.gov/policy/ads/500/501sad.pdf

http://www.usaid.gov/policy/ads/500/501sab.pdf




The ADS Process

Part IV-43

5. Issuing a Standalone Policy Notice (Interim Update) Effective Date – 06/01/2007

If you have a short policy statement that is not yet in ADS format, you may issue it as a

standalone Policy Notice. This vehicle is reserved for issuances that are particularly time-

sensitive. You are still required to obtain ADS clearance (unless you request an exception in

accordance with Part II, Section F.1 of this document, or it is a conforming amendment) and

submit a completed AID Form 3-252.

Once a Policy Notice is issued, M/MPBP/POL converts it into an Interim Update (IU) to be

placed on the ADS Web site. An IU is a temporary issuance. Within a year of issuance the

author Bureau/Independent Office must either

Convert the new policy to an ADS chapter or reference,

Include it into an existing chapter or reference, or

Have it expire on a specified date.

6. Issuing SBU Material Effective Date: 07/01/2004

If the author believes his or her material is Sensitive But Unclassified (SBU), M/MPBP/POL will post it to the intranet only (so that it is accessible only to USAID employees). It will not be

posted to the ADS Internet site. For a definition of the type of information that falls into the

category of SBU, see the ADS Glossary.

http://www.usaid.gov/policy/ads/glossary.pdf



The ADS Process

Part IV-44

Appendix A

Sample Policy Notice Issuing New or Revised ADS Material

Please note that this format must be adhered to when issuing Policy Notices. You must state if the ADS material is new, or what it supersedes, in the first part (first or second sentence) of your Policy Notice.

USAID/General Notice

POLICY M/CIO/KM

10/01/2008

Subject: Issuance of Revised ADS 540, Development

Experience Information

This notice announces a recently revised ADS chapter in

the 500 Management Series, ADS 540, USAID Development

Experience Information. This chapter governs the

operations of the Development Experience Clearinghouse

(DEC), USAID's resource for submitting information to

be included as the Agency's institutional memory as

well as searching the Agency's development experience

documentation for research and policy planning.

(http://dec.usaid.gov)

The chapter was revised to address the following recent

changes:

-- Role of the M/CIO/KM Division in the management

of the Agency's development information

-- Updated mail address and e-mail addresses for

the submission of materials to the Development

Experience Clearinghouse (DEC)

-- Standards and essential bibliographic elements

for materials submitted to the DEC

-- Guidelines for submitting policy-sensitive,

procurement-sensitive, or proprietary

documentation

-- Guidelines for closing and retiring development

experience collections

The revised ADS 540 chapter is attached.

Point of Contact: Any questions regarding this notice

may be directed to Celida Malone, M/CIO/KM,

(202) 712-0779.

http://dec.usaid.gov/

The ADS Process, Part IV: DEFINITIONS 12/24/2008 Revision


The ADS Process

Part IV-45

Part IV: Definitions

The terms and definitions listed below have been included into the Automated Directives System

(ADS) Glossary. See the ADS Glossary for all ADS terms and definitions.

additional help

An additional help document provides non-mandatory guidance intended to clarify Agency

policy and its application contained in the Automated Directives System (ADS). For example,

these may include "how-to" guidelines and non-mandatory reference material created internally

or externally. These documents may repeat policy, but do not contain new policy. Additional

help documents are optional reading. (Chapter 501)

author

A qualified Automated Directives System (ADS) author is a subject matter expert (SME) or

someone with good writing skills who can interview the SME and write ADS material in plain

language. (Chapter 501)

authority

An authority is the legally binding instrument that authorizes or constrains the policy and

procedures issued as USAID direction. These instruments include laws, regulations, Executive

Orders, court decisions, and rulings by Federal authorities. "Authority" refers to the legal ability

or power to give commands, enforce compliance, or make decisions. (Chapter 501)

Automated Directives System (ADS)

The Automated Directives System (ADS) is a standardized system comprising (1) USAID

internal regulations, including policy directives and required procedures; (2) external regulations

applicable to USAID; and (3) non-mandatory guidance to help employees interpret and properly

apply internal and external mandatory guidance. (Chapter 501)

clearing official

A clearing official is a designated person in a specific Bureau/Independent Office obligated to

review and clear Automated Directives System (ADS) material. (Chapter 501)

conforming amendment

Policy that does not require Automated Directives System (ADS) clearance because it alters

ADS material in one of the following four ways:

Includes new or revised external regulations; this does not include the creation of new or

revised USAID procedures to implement the regulation;

Complies with policy already contained in other ADS chapters or internal mandatory

references;


http://www.usaid.gov/policy/ads/glossary.pdf








The ADS Process

Part IV-46

Amends or adds one Bureau’s/Independent Office’s procedures that do not have a

substantial impact on any other Agency Bureau/Independent Office. Authors must send

M/MPBP/POL an e-mail explaining how the change does not substantively impact

another Bureau/Independent Office. (Chapter 501)

directive

A written instruction communicating policy and/or procedure. These instructions may be in the

form of orders, regulations, bulletins, circulars, handbooks, manuals, notices, numbered

memoranda, and similar issuances. (Chapter 501)

directives management program

The directives management program provides Agency personnel with the means to document

and convey Agency policy directives and required procedures to users through written

instructions. (Chapter 501)

editorial changes

Editorial changes are simple clarifications that do not alter the substantive meaning of the ADS

material. Editorial changes include punctuation changes, grammar corrections, reordering

existing material and adding headers for ease of use, updates to Bureau/Independent Office

symbols, address and name changes, and hyperlink additions. (Chapter 501)

effective date

Effective dates are inserted when specific policy directives or required procedures within an

Automated Directives System (ADS) chapter or internally created reference become effective.

Effective dates only change when substantive modifications are made within the document.

(Chapter 501)

functional series

Automated Directives System (ADS) chapters and Interim Updates are grouped according to the

Agency's functions. These groups of chapters are called functional series. (Chapter 501)

guidance

Guidance is a general term that includes policy directives, rules, regulations, advice, and other

information relevant to the conduct of USAID business. The critical distinction is between

mandatory and non-mandatory guidance, as defined below. A particular document may contain

both mandatory and non-mandatory guidance.

a. mandatory guidance

Guidance specifying required actions and behavior on the part of Agency employees and

operating units, signified by phrases like "must,“ “must not,” “is required,” or the

equivalent. Employees are held accountable for adherence to mandatory guidance, and

must comply with it unless an exception is made in accordance with established

procedures. Policy directives – mandatory guidance contained in documents prepared

according to ADS procedures – are clearly identified as mandatory. A document written

before the initiation of the ADS may also contain mandatory guidance that remains in

force, in which case it is classified as an internal mandatory reference.









The ADS Process

Part IV-47

b. non-mandatory guidance

Guidance intended to assist employees in carrying out their duties, but does not specify

required actions and behavior. Employees are strongly encouraged to review and

consider such guidance. (Chapter 501)

hyperlink

A hyperlink is specially marked underlined and blue-colored bold text that you click on to move

from one place in a document to another file, another location in the same document, or a Web

page. (Chapter 501)

Interim Updates (IUs)

An Interim Update is temporary, mandatory guidance that was issued as a Policy Notice, Policy

cable, or Administrator Memorandum. This guidance is codified in the Automated Directives

System (ADS) as an Interim Update. IUs are either (1) incorporated into the appropriate

Automated Directives System (ADS) chapter or reference or (2) expire on a specified date.

Policy Notices are cleared through the ADS clearance process and distributed Agency-wide via

the Agency Notice system. After a Policy Notice is released, it is converted to an IU. IUs are

posted to the ADS Web site. (Chapters 501 and 504)

management official

For the purposes of ADS Chapter 501, a management official is a Supervisor, Division Chief,

Director, AA, or someone delegated by the Division Chief, Director, or AA to sign the USAID

Directives Issuance Request Form (AID 3-252) and who has oversight authority for the

Automated Directives System (ADS) material. (Chapter 501)

mandatory references

Mandatory references comprise relevant U.S. Government regulations created and published

outside USAID, as well as documents containing mandatory guidance that have been created

within USAID. These references are cited and hyperlinked in Automated Directives System

(ADS) chapters.

a. External Mandatory Reference

External mandatory references are relevant Federal statutes, Executive Orders, and other

externally published regulations. They may also contain USAID-specific regulations.

b. Internal Mandatory Reference

An internal mandatory reference is a document created and published within the Agency

that contains mandatory guidance (often accompanied by additional, non-mandatory

guidance), but which does not have to be created in ADS chapter format. Adherence to

all mandatory guidance contained in internal mandatory references is required by those to

whom the reference is applicable. (Chapter 501)









The ADS Process

Part IV-48

origination date

The origination date is the date that the requesting official signed the AID Form 3-252 for the

original Automated Directives System (ADS) chapter or reference. This is not necessarily the

first effective date for the chapter or reference. (Chapter 501)

Overview

The Overview is the first section of an Automated Directives System (ADS) chapter. It

introduces the chapter and may include a brief purpose, overview, objective, and applicability.

(Chapter 501)

plain language

As defined by the Plain Language Action and Information Network (PLAIN), plain language is

writing that your reader can understand the first time he or she reads it. It doesn't mean writing

for a certain grade level – it means organizing and writing for your reader. Writing in plain

language saves time and money for writers and readers. Writing in plain language includes using

common, everyday words, short sentences, active voice, and, when appropriate, addressing the

reader directly by using the pronoun "you." (Chapter 501)

policy

USAID policy includes both mandatory guidance (policy directives and internal mandatory

references) as well as broader official statements of Agency goals, guiding principles, and views

on development challenges and best practices in addressing those challenges. (Chapter 501)

policy directive

A clear, concise statement of mandatory guidance that the Agency has adopted to guide the

conduct of its business. Policy directives statements are found in documents prepared according

to Automated Directives System (ADS) procedures. (Chapter 501)

policy notice

A notice, issued as part of the nightly notices to all USAID employees, that includes both

mandatory guidance and required procedures, and may include broader official statements of

Agency goals, guiding principles, and views on development challenges and best practices in

addressing those challenges. USAID turns all policy notices into interim updates (IUs) and

includes them in the ADS. (Chapter 501)

Primary Responsibilities

The Primary Responsibilities section of an Automated Directives System (ADS) chapter is a list

of the Bureau/Independent Office/officials (titles, not names) with the key responsibilities for

acting upon the policy directives and required procedures in the chapter. This section does not

include (1) all Bureaus/Independent Offices that are affected by the chapter, (2) position

descriptions, or (3) policy directives and required procedures. (Chapter 501)










The ADS Process

Part IV-49

regulation

An agency statement of general applicability and future effect, which the agency intends to have

the force and effect of law, that is designed to implement, interpret, or prescribe law or policy or

to describe the procedure or practice requirements of an agency. (Chapter 501)

required procedures

Required procedures are detailed courses of action that the Agency must follow to comply with

policy directives (both external and internal). (Chapter 501)

revision date

The date that Automated Directives System (ADS) chapters, internal mandatory references, or

additional help documents are finalized for distribution. This is not an effective date. The date

appears in the lower right corner of the title page in an ADS chapter or internal mandatory

reference or additional help document. (Chapter 501)

substantive changes

Substantive changes alter the meaning or intent of the policy directive or required procedure. If

you change what people are required to do or how they are required to do it, you are making a

substantive change. (Chapter 501) 501mae_032015





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